Purpose To summarize and interpret the examination priorities for 2017 published in early January by the Financial Industry Regulatory Authority (“FINRA”) and the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”)....

Purpose – To explain expectations of the US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) as to what constitutes successful branch inspection programs for broker-dealers. Design/methodology/approach – Summarizes FINRA’s rules requiring firms...

Purpose – To alert broker-dealers to the SEC’s plans to examine their cybersecurity practices, and offer advice on compliance. Design/methodology/approach – Reviews the SEC’s proposed cybersecurity framework and provides suggestions for broker-dealers to address and respond to these...